Senior Analyst, Capital Markets Trading Venue Governance

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Governance & Control

Pay Details:
$76,800 - $115,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, managed, and mitigated risks in day-to-day activities, operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

Job Description

The Senior Analyst supports Trading Venue Governance across TD Securities Global Markets business ensuring TDS manages and mitigates risk for Front Office desks who use venues and executing platforms for their trading activities.

The position has some direct interaction with stakeholders across various functions including the Business, Risk, Trade Surveillance, Compliance, and Technology. This position will require an individual who can collaborate and engage effectively in delivering and enhancing the governance program procedures, monitoring processes, controls, policies, and developing and communicating a project plan/tracker and associated updates to a variety of stakeholders.

• Provides business governance and control related support to team management within Trading Venue Management program.
• Support working groups, facilitate meetings, ensure alignment to program goals, identify and mitigate risks as they arise.
• Assists in the implementation of governance enhancements.
• Ensures artifacts are preserved in accordance with program governance standards.
• Performs a set of governance and control work activities requiring coordination across multiple areas.
• Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of processes and controls.
• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Program governance delivery requirements are understood and met.
• Partner with stakeholders to ensure risks are adequately identified, assessed, and to support the development of risk mitigation strategies across the Program.
• Support a coordinated approach with other business areas, the broader organization and enterprise control functions.
• Effectively manage ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines.
• Respond to all requests in a timely manner.
• Establish an environment that promotes respect, diversity and inclusion for each individual employee and adhere to the policies and guidelines of the Bank including the TD Framework and Our Shared Objectives.
• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.

• Understanding of global markets (capital markets) business in general, including product knowledge.
• Strong compliance and/or risk management assessment background.
• Basic level of understanding of the trading lifecycle and how different components come into the picture such as OMS (Order Management System), Order Routers, Algos, Trading Venues, etc.
• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time.
• Initiative-taking individual with a record of successfully assisting with implementing program enhancements.
• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.
• Thrives in a challenging environment, managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.
• Skilled at "connecting the dots" across issues in support of solutions and development of strategies to effectively manage and mitigate risk.
• Excellent interpersonal skills to effectively interact at all levels of the organization, coupled with a passion to build strong working relationships and contribute to a strong team environment.
• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc deliverables.
• A positive "can do" attitude with a curiosity and willingness to learn and grow, as well as share knowledge and experience.
• Proficiency in Microsoft applications (Excel, Word, PowerPoint) and Share Point.

• Undergraduate degree or 3-5 years of relevant work experience work experience.
• Graduate degree would be an asset.
• Courses such as following would be an asset: Derivatives Fundamentals and Options Licensing Course (DFOL), Futures Licensing Course (FLC), and Advanced Derivatives Market Strategies Course (ADMS).